Notices

FINRA publishes Notices to provide firms with timely information on a variety of issues.  To obtain a Notice published prior to 1995, please contact FINRA MediaSource at (240) 386-4200.

Publication Date Title Description
Notice to Members 04-87
2005 Trade Date–Settlement Date Schedule

This version corrects the Trade Dates and Settlement Dates for Columbus Day 2005.
Notice to Members 04-86
SEC Approves NASD Interpretive Material to Rule 2210 Regarding Member Firms' Use of Investment Analysis Tools
Notice to Members 04-85
SEC Approves Amendments to Rule 6954(c) Requiring ECNs to Capture and Report Routed Order Identifier Information to OATS
Notice to Members 04-82
NASD Announces Election Results for District Committees and District Nominating Committees
Notice to Members 04-84
SEC Approves Adjustments to the Trading Activity Fee
Notice to Members 04-83
NASD Requests Comment on Whether to Propose New Rule That Would Address Conflicts of Interest When Members Provide Fairness Opinions in Corporate Control Transactions (Comment Period Expired January 10, 2005)

Note: The comment period was extended to February 1, 2005.
Notice to Members 04-81
SEC Approves New NASD Qualification Requirements for Supervisors of Research Analysts
Notice to Members 04-80
NASD Seeks Comment on Proposed Changes to the OATS Rules (Comment Period Expired January 20, 2005)
Notice to Members 04-79
SEC Approves New Chief Executive Officer Compliance Certification and Chief Compliance Officer Designation Requirements
Notice to Members 04-78
SEC Approves Amendments to Rule 1120 to Eliminate Exemptions from the Continuing Education Regulatory Element Requirements
Notice to Members 04-77
SEC Announces Approval of Amendment to NASD's Minor Rule Violation Plan (MRVP) to Include Failure to Timely Submit Amendments to Form U5
Notice to Members 04-76
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory
Notice to Members 04-75
NASD Seeks Comment on Enhanced Disclosure for Subordination Agreements
Notice to Members 04-74
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative Renewals for 2005
Notice to Members 04-73
Amendments to Section 4 of Schedule A to the NASD By-Laws Governing Qualification Examination Fees
Notice to Members 04-70
Nominees for NASD Board of Governors
Notice to Members 04-72
Impermissible Use of Negative Response Letters for the Transfer of Mutual Funds and Variable Annuities (Changes in Broker-Dealer of Record)
Notice to Members 04-71
SEC Approves New Rules and Rule Amendments Concerning Supervision and Supervisory Controls
Notice to Members 04-69
Mandatory Use of Combined New Order/Route and Combined New Order/Execution Reports Delayed until April 4, 2005
Clarification of Combined Reporting Format Requirements for Related Order Information Submitted by Multiple Order Sending Organizations
Notice to Members 04-68
SEC Approves Rule Amendment Requiring That ADF Market Participant Provide Advance Written Notice When Denying Access
Notice to Members 04-67
Nominees for District Committee and District Nominating Committee
Notice to Members 04-66
NASD Reminds Member Firms of Their Obligations to Ensure the Accuracy and Integrity of Information Entered into Order-Routing and Execution Systems
Notice to Members 04-65
SEC Approves Amendments to TRACE Rules to Disseminate Transaction Information on All TRACE-Eligible Securities, Modify and Supplement Defined Terms, and Enhance Notification Requirements
Notice to Members 04-64
SEC Announces Immediate Effectiveness of the Deletion of IM-2210-4(b) and Rule Series 3400 as Obsolete
Notice to Members 04-63
New SEC Procedures Relating to Section 31 of the Securities Exchange Act of 1934
Notice to Members 04-62
SEC Approves New Rule 10334 To Allow Direct Communication Between Parties and Arbitrators
Notice to Members 04-61
SEC Approves Amendments to Rule 10308 Regarding the Time for Chairperson Selection
Notice to Members 04-60
SEC Approves Increase to the Arbitrator Panel Training Fee
Notice to Members 04-59
SEC Announces Immediate Effectiveness of Amendments to the Rule 9600 Series Establishing Waiver Subcommittee of the National Adjudicatory Council
Notice to Members 04-58
SEC Grants Accelerated Approval of Rule Change Relating to Transfers of Specifically Designated Customer Account Assets through the Automated Customer Account Transfer Service (ACATS) (This version was updated on 8/19/04)

This version was updated on 8/19/04.
Notice to Members 04-57
NASD Extends Jurisdiction to Suspend Formerly Associated Persons Who Fail to Pay Arbitration Awards
Notice to Members 04-56
SEC Approves Amendments to Rule 10314 to Implement the Online Arbitration Claim Filing System
Notice to Members 04-55
NASD Requests Comment on a Proposed Uniform Branch Office Registration Form
Notice to Members 04-54
Operative Date of Short Sale ACT Reporting Requirements for OTCBB and Other Non-NASDAQ OTC Equity Securities Extended to September 24, 2004
Notice to Members 04-52
Guidance on the Requirements for Availability of the Bona Fide Fully Arbitraged Exemption
Notice to Members 04-53
SEC Approves Amendments to IM-10104 and Rules 10306 and 10319 Regarding "Last Minute" Adjournments of Arbitration Hearings
Notice to Members 04-51
SEC Approves Amendments to TRACE Rule 6230 to Reduce the Reporting Period to 30 Minutes on October 1, 2004, and to 15 Minutes on July 1, 2005
Notice to Members 04-50
Treatment of Commodity Pool Trail Commissions under Rule 2810 (Direct Participation Programs Rule) (The effective date has been delayed until 10/12/04)

The effective date has been delayed until Tuesday, October 12, 2004.
Notice to Members 04-49
SEC Approves Amendments to Rules 10308 and 10312 Regarding Arbitrator Classification, Disclosures, and Challenges
Notice to Members 04-48
SEC Approves Amendments to Rule 6954 Requiring Members to Record and Report Execution Price and Firm Capacity in OATS Execution Reports
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